Perspective: Addressing SEC-Identified AML Program Deficiencies at Broker-Dealers

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Stephanie_Richardson
Stephanie_Richardson Posts: 325 QUANTEXA TEAM
edited October 2023 in Specialist User Groups

In this article, @Andrea_Walser analyses and highlights key themes in AML compliance shortcomings identified in a July 2023 Risk Alert published by the U.S. Securities and Exchange Commission (SEC) Division of Examinations.
The article goes on to explore the meaning of a 360° Client View and how you can use Quantexa's KYC offering to create and maintain a 360° view of clients using internal and external data, support robust due diligence and provide accurate and timely information to maintain up-to-date profiles and an informed view of client risk.

Read the article in our Community Library: Perspective: Addressing SEC-Identified AML Program Deficiencies at Broker-Dealers

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